SOC 2 Compliance Requirements: End‑to‑End Guide

Let’s face it—SOC 2 can be confusing, especially when it comes to understanding what the actual requirements are.

This guide is here to clear that up. We’ll walk you through who defines the SOC 2 requirements, what those requirements really mean, and how to implement the right controls to meet them.

From the five Trust Service Criteria to mapping your controls and prepping for an audit—we cover it all.

Whether you’re starting fresh or fine-tuning your compliance program for 2025, this is your no-fluff roadmap to getting audit-ready.

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What is SOC 2?

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Here’s the deal: SOC 2 is a framework for managing customer data based on five “Trust Service Criteria” like security and availability.

It’s not about ticking boxes—it’s about proving you can protect sensitive info.

Unlike SOC 1 (which focuses on financial reporting controls) or SOC 3 (a simplified public report), SOC 2 dives deep into your systems and processes.

It’s what tech-savvy customers expect when handing over their data.

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Now, let’s clarify a common mix-up.

SOC 2 isn’t a certification—it’s an attestation. That means an independent CPA firm audits your controls and “attests” that you meet the SOC 2 audit requirements.

You're not getting a shiny badge, but a report you can share with customers.

In short? SOC 2 shows you take security seriously—and gives your customers peace of mind.

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Who Sets the SOC 2 Requirements?

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Ever wonder who actually defines what counts as SOC 2 compliant? Let’s break it down.

It all starts with the AICPA (American Institute of Certified Public Accountants). They’re the official body behind SOC 2—they created the framework and define how audits are performed.

The real rulebook for SOC 2? That’s the Trust Services Criteria (TSC). These criteria cover five key areas—like Security, Availability, and Privacy—that your controls need to address. Your audit is based on how well your systems align with them.

Here’s what makes SOC 2 different.

It’s intentionally flexible. Instead of handing you a fixed checklist, the requirements are risk-based. That means you decide which controls are needed based on your business model, tech stack, and threat landscape.

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Why does that matter?

Because it lets you build a compliance program that actually fits how your company operates—not someone else’s template.

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Decoding the Five Trust Service Criteria

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SOC 2 is built around five Trust Service Criteria—but here’s the twist: only one is mandatory (Security), and the rest are based on your business model.

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Let’s break each one down so you know exactly what’s expected.

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Security (Common Criteria)

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This is the must-have pillar of SOC 2. No matter your industry, size, or product—you’re being evaluated on Security.

At the heart of this principle are the 9 Common Criteria (CC) families, each covering a different slice of your security posture.

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Let’s walk through them, along with the kinds of controls you’ll need to implement.

CC1: Control Environment

Set the tone from the top.
- Define and communicate security responsibilities.
- Ensure management actively supports security policies.
- Conduct regular performance evaluations and accountability checks.
CC2: Communication and Information

Keep everyone informed.
- Train employees on security policies and procedures.
- Maintain clear internal documentation.
- Set up formal reporting channels for incidents or concerns.
CC3: Risk Assessment

Know your threats.
- Identify internal and external risks to your systems.
- Perform regular risk assessments.
- Rank risks by likelihood and impact, and update your mitigation strategy.
CC4: Monitoring Activities

Keep an eye on everything.
- Enable log collection and analysis across systems.
- Review alerts and security reports regularly.
- Conduct internal audits and security reviews.
CC5: Control Activities

Apply consistent safeguards.
- Implement standardized security procedures.
- Separate duties to prevent conflicts of interest.
- Approve and document changes before deployment.
CC6: Logical and Physical Access Controls

Lock it down—digitally and physically.
- Use role-based access control (RBAC).
- Enforce MFA and strong password policies.
- Secure offices, data centers, and hardware with physical barriers.
CC7: System Operations

Run your systems securely.
- Monitor system activity in real time.
- Set up alerting for suspicious behavior.
- Respond quickly to any outages or anomalies.
CC8: Change Management

Control how systems evolve.
- Use formal change approval workflows.
- Log all code or config changes.
- Test changes before production deployment.
CC9: Risk Mitigation

Address threats head-on.
- Patch systems regularly.
- Maintain an incident response plan.
- Perform root cause analysis after issues.

To stay compliant, you’ll need to show that each of these areas is covered with real, working controls—not just policies on paper.

Ideal visual here: 3x3 grid with each CC family name + 1 example control beneath it.

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Availability

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Availability is all about making sure your systems are reliable, resilient, and ready—no matter what happens.

This Trust Service Criteria focuses on your ability to maintain uptime, recover from disruptions, and meet service commitments to customers.

Here’s exactly how to meet the Availability requirements:

A1: Disaster Recovery Planning

Be prepared for worst-case scenarios.
- Document a formal disaster recovery plan.
- Define RTO (Recovery Time Objective) and RPO (Recovery Point Objective).
- Test your DR plan at least annually—and after any major infra changes.
A2: Business Continuity Management

Keep the business running—even during an outage.
- Identify critical systems and dependencies.
- Create contingency plans for key operations.
- Train teams on how to execute continuity procedures.
A3: System Monitoring & Health Checks

Catch problems before they escalate.
- Implement real-time health monitoring and alerting.
- Track uptime metrics and performance trends.
- Use monitoring tools like Datadog, New Relic, or AWS CloudWatch.
A4: Redundancy & Failover Systems

Build resilience into your infrastructure.
- Use load balancers, failover databases, and multiple availability zones.
- Test failover procedures to ensure smooth transitions during incidents.
- Automate scaling to handle unexpected surges in demand.
A5: Capacity Planning & Resource Management

Avoid outages caused by overload.
- Monitor usage trends to predict future needs.
- Set up alerts for CPU, memory, and bandwidth thresholds.
- Review and adjust resource allocations regularly.

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Confidentiality

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The Confidentiality criteria focus on protecting sensitive information that isn’t intended for public access—like internal documents, source code, business strategies, and client contracts.

To meet these requirements, you’ll need to demonstrate two key things:

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C1: Identify and Classify Confidential Information

You must know what you're protecting.
- Create a clear data classification policy.
- Label confidential data across systems (e.g., “Internal,” “Restricted”).
- Limit access to authorized personnel only, using role-based access control (RBAC).

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C2: Secure Retention and Disposal

Confidential data shouldn’t stick around forever.
- Set formal data retention timelines based on business and legal needs.
- Implement secure deletion practices—use software-based wipes or certified hardware destruction.
- Keep logs of all data disposal actions.

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Processing Integrity

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Processing Integrity ensures your systems operate accurately, consistently, and in line with your promises. It’s all about validating that what goes in is correct—and what comes out is too.

If your platform handles transactions, workflows, or automated decisions, these criteria are critical.

Let’s break it down:

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PI1: Validity and Accuracy of Data Inputs

Start by making sure garbage doesn’t go in.
- Use input validation to check for data type, length, format, and acceptable values.
- Reject or flag incorrect or incomplete entries.
- Apply dropdowns, regex filters, and sanity checks wherever possible.

PI2: Completeness and Accuracy of Processing

Once data is in, make sure it’s processed correctly.
- Implement automated error detection to flag anomalies or missing records.
- Set up logic checks to verify calculations and transformations.
- Conduct reconciliation between input/output systems.

PI3: Timeliness and Authorization of Processing

Your outputs should be timely—and only run when they should.
- Set time-based processing rules (e.g., daily batches, hourly syncs).
- Require approval workflows for sensitive transactions.
- Maintain logs and time stamps for all processing activities.

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Privacy

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The Privacy criteria focus on how you collect, use, retain, disclose, and dispose of personal information (PII)—and align closely with global laws like GDPR, CCPA, and others.

If your system handles any kind of user data, these criteria help you prove that you’re handling it responsibly.

Here’s how to meet each requirement:

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P1: Notice and Communication

Tell users what you’re collecting and why.
- Publish clear, accessible privacy notices.
- Explain data types, usage, retention, and third-party sharing.
P2: Choice and Consent

Give users control over their data.
- Use opt-in mechanisms for data collection (cookies, marketing, etc.).
- Record and store proof of consent.
P3: Collection Limitation

Only take what you truly need.
- Limit data collection to business-critical information.
- Avoid excessive or irrelevant data fields.
P4: Use, Retention, and Disposal

Use data for what you promised—and no more.
- Define retention timelines for each PII category.
- Securely delete data after it’s no longer needed.
- Document disposal procedures and run regular purges.
P5: Access

Let users view, edit, or delete their data.
- Offer user-facing data access tools or dashboards.
- Verify identity before granting access or changes.
P6: Disclosure to Third Parties

Keep users informed when sharing their data.
- Maintain a list of vendors processing PII.
- Sign Data Processing Agreements (DPAs).
- Disclose third-party sharing in your privacy policy.
P7: Security for Privacy

Protect personal info with strong safeguards.
- Encrypt PII in transit and at rest.
- Restrict access using role-based permissions.
- Run regular vulnerability scans.
P8: Quality Assurance

Keep data accurate and up to date.
- Let users correct inaccuracies.
- Periodically review databases for outdated or duplicate records.
P9: Monitoring and Enforcement

Make sure your privacy policies are actually followed.
- Assign a privacy officer or team.
- Maintain an incident log and run regular audits.
- Respond quickly to complaints or violations.

<blog-post-block-quote-orange> 🔍 Pro Tip: Mapping your SOC 2 privacy controls to GDPR or CCPA saves you time, boosts customer trust, and earns extra SEO points for privacy compliance.<blog-post-block-quote-orange>

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Mapping SOC 2 Requirements to Controls

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Let’s be real—reading SOC 2 requirements is one thing. Translating them into real-world actions? That’s where most teams get stuck.

Here’s how to make it simple:

Start by setting up internal controls that directly support each Trust Service Criteria.

For example, if the criteria say you need access control, your internal control could be “All admin access requires MFA and quarterly review.”

Next, document everything.

Each control should clearly map back to a SOC 2 requirement. That traceability is key when auditors come knocking.

But here's the catch: manually maintaining this mapping is a nightmare. Spreadsheets break, version control gets messy, and audit prep becomes a scramble.

That’s where automation steps in.

Compliance automation platforms like ComplyJet do the heavy lifting for you. They offer:

Pre-mapped, auditor-approved controls aligned with each SOC 2 requirement
Real-time status tracking of your implementation
Automated evidence collection for audits

Instead of guessing or Googling what controls to use, you get a plug-and-play system that scales as you grow.

Ideal visual here: Screenshot of a ComplyJet control dashboard showing mapped requirements and control status.

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Mapping SOC 2 Requirements to Other Frameworks

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Here’s a huge win for your compliance team: SOC 2 controls often overlap with other major frameworks. That means less duplication, more efficiency.

Let’s break it down:

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SOC 2 vs ISO 27001:

A ton of SOC 2 controls line up with ISO 27001 Annex A. If you’ve already implemented policies for ISO (like asset management or incident response), chances are you're halfway there for SOC 2.

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SOC 2 and HIPAA/GDPR:

SOC 2’s Privacy and Security criteria share goals with HIPAA’s Privacy Rule and GDPR’s data protection principles. Implementing proper access control, encryption, and data retention policies helps you check boxes across all three.

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Control re-use = less work.

Instead of creating separate policies for each framework, you can reuse controls across audits. That’s a huge time and cost saver—especially if you're pursuing dual certification.

When does dual-certification make sense?

If you're targeting enterprise clients or operating in regulated industries (like health or finance), combining SOC 2 + ISO 27001 or HIPAA in a single audit cycle boosts your credibility—and ROI.

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SOC 2 Type 1 vs. Type 2 Requirements

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Here’s where a lot of teams get confused—so let’s clear this up.

The SOC 2 requirements themselves don’t change between Type 1 and Type 2. Both are evaluated against the same Trust Services Criteria (TSC), whether you're aiming for a snapshot or a long-term audit.

So what does change? The depth of proof required.

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Type 1 = Design Check

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With SOC 2 Type 1, auditors are only checking if your controls are well designed at a specific point in time.
It’s like saying: “Yep, your policies and processes look good on paper.”

✅ Example: You have a documented vulnerability management policy and a tracking system in place.

🚫 Not required: Proof that vulnerabilities were actually resolved within 90 days—because there’s no time window to observe behavior.

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Type 2 = Practice + Proof

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With SOC 2 Type 2, auditors are checking both design AND operational effectiveness—meaning they look at how your controls work in real life over 3–12 months.

Now you have to prove that you don’t just have policies—you actually follow them, consistently.

✅ Example: You not only have a vulnerability management program, but you also show logs that all critical issues were resolved within your SLA (e.g., 90 days).

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Conclusion

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You’ve now got the full SOC 2 game plan for 2025—minus the confusion.

Here’s your quick-hit checklist:

Understand the requirements: SOC 2 is flexible and risk-based—so no rigid templates, just real-world relevance.
Know who’s in charge: AICPA sets the rules, and the Trust Services Criteria (TSC) are your guiding framework.
Master the criteria: Start with Security (it’s mandatory), then pick others like Availability or Privacy based on what fits your business.
Map smartly: Link every requirement to an internal control—and ditch the spreadsheets by using automation.
Think cross-framework: Save time by reusing controls across ISO 27001, HIPAA, GDPR, and more.
Type 1 or Type 2? Go Type 1 to get started fast. Upgrade to Type 2 when you’re ready to show long-term proof.

Bottom line? SOC 2 doesn’t have to be overwhelming—or expensive.

With the right tools and a proactive mindset, you can turn compliance from a chore into a competitive edge.

✅ Want to see how ComplyJet simplifies the process?

Book a free demo or get a personalized gap assessment—and take the guesswork out of your next audit.

Let’s make continuous compliance your secret weapon.

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